CH
Charles S. Hammond
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
HANOVER, PA 17331
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CRD#: 3002992
CH
Professional summary
Charles Steven Hammond JR, AIF®, who also goes by Charles Steven Jr Hammond, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Hanover, Pennsylvania and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Hanover, Pennsylvania.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Charles has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Charles Steven Jr Hammond
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. HAMMOND HOLDINGS INC, 55 PREAKNESS ST, HANOVER, PA, 6/2006 AS PRESIDENT/INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 10/WK - 2/TRADING. 2. THE 401K STUDY GROUP, INC. 1225 CARLISLE ST STE 1 HANOVER, PA 17331. BEGAN 10/20/2010 AS CO-FOUNDER OF THE 401K STUDY GROUP, A NATIONWIDE ENTITY IN SERVICE TO THE QUALIFIED RETIREMENT PLAN INDUSTRY. OUR FOCUS IS ON CREATION AND SUPPORT OF THE NEXT GENERATION OF SERVANT BASED ADVISORS THROUGH COLLABORATION AND CONNECTION. OUR PRIVATE USER GROUP IS HIGHLIGHTED BY BUT IS NOT LIMITED TO REGISTERED REPRESENTATIVES. SELECT INDUSTRY EXPERTS ARE ENCOURAGED TO PROVIDE CONTENT AND WISDOM. THE NATURE OF THE CONTENT THAT WE DELIVER AND MEASURE NORMALLY RANGES FROM: DUE DILIGENCE TO BEST PRACTICES AND INCLUDES ENROLLMENT; EDUCATION; COMPLIANCE; MARKETING; RESOURCES; AND TECHNOLOGY. NOT INVESTMENT RELATED. DEVOTES 10 HRS/WK. 10 HOURS DURING TRADING. 3. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 40/WK - 30/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 4. TAG ADVISORS, 4801 COX ROAD, STE 102, GLEN ALLEN, VA, MARKETING AND SOCIAL MEDIA CONSULTANT, 09/03/20, INV REL, 20/MO- 2/TRADING 5. TAG RETIRE / 1649 Broadway, Hanover PA 17331 / 09/2022 / DIRECTOR, PROVIDE PLAN SUPPORT FOR ADVISORS IN TAG / NIR / 40 HR/MO 40 HR TRADING 6. HAMMOND HOLDINGS INC, 55 Preakness St, Hanover PA 17331, 05/2023, Owner, Author, NIR, 2 HR/MO - 0 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Charles Steven Hammond JR's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
July 9, 2012 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 118 Carlisle St. Ste. 204, Hanover, PA 17331Office #2: 4801 Cox Rd. Ste 102, Glen Allen, VA 23060RIA
CRD#: 134139
HANOVER, PA
Current
July 9, 2012 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 118 Carlisle St. Ste. 204, Hanover, PA 17331Office #2: 4801 Cox Rd. Ste 102, Glen Allen, VA 23060BD
CRD#: 39543
HANOVER, PA
Past
November 7, 2005 - July 9, 2012
SPC
RIA
CRD#: 110692
ELLIIOTT CITY, MD
Past
November 7, 2005 - July 9, 2012
SIGMA FINANCIAL CORPORATION
BD
CRD#: 14303
HANOVER, PA
Past
November 22, 2000 - November 7, 2005
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
LUTHERVILLE, MD
Past
July 25, 2000 - November 7, 2005
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
Past
February 26, 1998 - July 21, 2000
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arkansas(7/13/2022)
RR
California(7/9/2012)
RR
Colorado(10/19/2023)
RR
Florida(3/4/2022)
RR
Indiana(12/2/2024)
RR
Iowa(9/8/2022)
RR
Maryland(7/9/2012)
RR
Massachusetts(7/9/2012)
RR
Missouri(9/25/2025)
RR
New Mexico(7/19/2024)
RR
North Carolina(2/14/2022)
RR
Ohio(1/3/2024)
RR
Pennsylvania(7/9/2012)
IAR
Pennsylvania(7/9/2012)
RR
South Carolina(10/24/2023)
RR
Tennessee(2/3/2023)
RR
Virginia(7/9/2012)
IAR
Virginia(2/28/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
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Contact information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
Phone number
(641) 472-5100
Established
Firm type
Fiscal year end
# of Employees
3,361
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
